All Chief Compliance Officer articles – Page 27
-
Article
National Holdings nears settlement with former chief compliance officer
National Holdings has reached a proposed settlement in a lawsuit filed by a former chief compliance officer who alleged she was fired for investigating insider trading by the brokerage firm’s executives, although the firm denies the allegations.
-
Article
James Freis did the right thing at Wirecard … but why didn’t anyone else?
At the end of the sorry Wirecard saga, James Freis may be one of the very few former senior employees who can hold his head high, writes Martin Woods.
-
Article
Q&A: Global Widget CCO says CBD industry at regulatory ‘tipping point’
Global Widget Chief Compliance and Legal Officer Margaret Richardson talks with Compliance Week about how the company’s focus on federal and state compliance lends to leading the way in the currently unregulated cannabidiol industry.
-
Article
PepsiCo promotes compliance and ethics chief to general counsel
Food and beverage giant PepsiCo announced David Flavell has been appointed EVP, general counsel and corporate secretary.
-
Article
Sallie Mae names chief risk and compliance officer
Education loan provider Sallie Mae announced the appointment of Kerri Palmer as chief risk and compliance officer. Palmer joins Sallie Mae from Capital One, where she served as senior vice president of risk management.
-
Article
Sinclair hires first chief compliance officer
Media conglomerate Sinclair Broadcast Group announced the hiring of Jeffrey Lewis as its first chief compliance officer.
-
Article
Cherry Creek Mortgage tabs chief compliance officer
Cherry Creek Mortgage announced Tara Healy has been promoted to chief compliance officer. Healy had been vice president of compliance.
-
Article
Facebook names Henry Moniz as first-ever chief compliance officer
Facebook has hired Henry Moniz, executive vice president and chief compliance officer at ViacomCBS, to be the social media giant’s first-ever CCO.
-
Article
Transparency International index: Pandemic tests anti-corruption efforts
Corrupt activity bolstered by the coronavirus pandemic features heavily in the findings of Transparency International’s 2020 Corruption Perceptions Index, with even some of the highest-scoring countries having their share of challenges.
-
Article
Disney appoints Alicia Schwarz as new chief compliance officer
The Walt Disney Company has promoted Alicia Schwarz to senior vice president and chief compliance officer.
-
Article
Cyber-Risk Summit: Compliance should view cyber-security through prism of risk
What’s most important for compliance officers is to understand the risks breaches and hacks pose to their organizations, not the technical manner of how those breaches occur, according to an expert panel at CW’s virtual Cyber-Risk & Data Privacy Summit.
-
Article
BitGo adds compliance chief from competitor Coinbase
Digital asset platform BitGo announced the appointment of Jeff Horowitz as chief compliance officer. Horowitz joins BitGo from fellow cryptocurrency firm Coinbase, where he served as CCO for 2 1/2 years.
-
Article
INX Limited adds chief compliance officer
INX Limited, a blockchain-based platform for trading digital securities and cryptocurrencies in accordance with U.S. and EU regulations, announced the appointment of Jon Rios as chief compliance officer.
-
Article
Cerberus Sentinel appoints chief compliance officer
Cyber-security consulting firm Cerberus Cyber Sentinel Corporation announced Baan Alsinawi has been named chief compliance officer.
-
Article
RPM, chief compliance officer to pay $2M for accounting violations
RPM International and its general counsel and chief compliance officer have agreed to a $2 million settlement with the SEC for accounting and disclosure rules violations relating to a prior DOJ investigation.
-
Article
CCO allegedly ignored in Ripple cryptocurrency lawsuit
The chief compliance officer at Ripple Labs allegedly warned company leaders on multiple occasions that its marketing of its cryptocurrency offering, XRP, could lead the SEC to classify it as a security—the focal point of a lawsuit filed Tuesday.
-
Article
How compliance officers can apply COSO’s ERM Framework in practice
Representatives from the Committee of Sponsoring Organizations of the Treadway Commission and its partners explain how to implement the organization’s latest guidance on identifying, monitoring, and mitigating compliance risks.
-
Premium
Ask a CCO: How to meet data analytics expectations of both board and regulators
Six senior compliance practitioners share some big-picture thoughts on how their companies are using data within the context of regulators’ increased expectations in the area.
-
Article
Five challenges for European CCOs heading into 2021
Many of the problems European compliance officers faced in 2020 will remain in place going into the new year, but new risks and new regulations will also present new challenges.
-
Article
International Money Express adds CCO, general counsel
International Money Express, a money remittance services company, announced the appointment of Ernesto Luciano as the company’s new general counsel and chief compliance officer.